Firm Update: February 2023

Welcome to our February Newsletter.

We hope that 2023 is off to a good start for all, and that the solid start-of-year uptick in the public markets continue to provide refreshed tailwinds for dealmaking in our sector.

In this month’s newsletter, I will share some thoughts as to banker best practices as to the use of data technologies.

Then, Michelle Mueller will provide compliance updates, and Zaya Bold will do so for collaboration (including an exciting March webinar invitation!).

To all of our success!

Jay Turo
Managing Director
GT Securities, Inc.


Data Tech Platforms – Blessing and Curse?

Data technology, for boutique bankers in the modern deal environment, is both a blessing and a curse.

It is a blessing in that, via tools like S&P Capital IQ, PitchBook, IBIS World, Family Offices Database, Statista, D&B hoovers and many more – the independent banker has has much if not more access to  market, industry competitive and deal intelligence as does the “captive” banker at a larger firm.

This empowers them to provide their clients with the highest level of informed service and advice, which contributes greatly to maximizing client value and probability of a favorable transaction.

Yet…if we are not careful all of this “information” can become an inhibitor to actually getting deals done.

First, because in its aggregate and complexity it can create too much “noise” and put too much emphasis on “macro” information versus “micro” execution, entrepreneurial tenacity, and actual business results.

Now, in the space between information value and noise is where the banker of quality earns their stripes (and fees).

They utilize data tech. to inform them, but then for the most part they do pretty much what they did when data rooms were actual places – with tables, chairs, doors, and locks.

They start with putting the client first.  They are relentless and resilient because they know always what one hundred nos and one yes is called is a deal.

So yes, utilize the best of data technology, and GT Securities offers several of them through the platform.

Then work just like in the old days.  And you and your client will benefit enormously.


Compliance Updates

Finra Regulatory Element Continuing Education. Beginning this year, in 2023, Registered Persons must complete their Regulatory Element CE annually by Dec. 31 under the amendment to FINRA rules 1210 and 1240. Registered Persons are required to complete the Regulatory Element CE annually by logging into their Finpro account. Individuals who do not complete the Regulatory Element CE by December 31 each year will be designated CE inactive by FINRA.

More information regarding this regulatory rule can be found here.

LinkedIn. Please ensure LinkedIn profiles held out to the public remain purely “brochure / resume type,” communicating in general terms. Any offers and sales of securities via these websites are strictly prohibited.

Michelle Mueller, Chief Compliance Officer


Platform Updates and Deals

GT Securities Webinar Series – Introduction to Axial

On Thursday, February 23rd from 1:30 pm – 2 pm PT, we are very excited to be hosting representatives from the Axial platform for a GT Securities exclusive webinar where we will share the unique partnership and proprietary tools and processes being developed and offered exclusively to GT Securities bankers.

M&A advisors and Deal Financiers use Axial to find high-quality buyers and investors to add to their M&A and capital raise processes.

Over 2,500 financial investors and corporate acquirers target lower middle market investments on Axial every year, including:

  • 450+ Family Offices
  • 750+ Private Equity Firms
  • 850+ Corporate Acquirers & Portfolio Companies
  • 400+ Independent Sponsors & HNWIs
  • 150+ Lenders and Private Credit Investors

New GT Securities Affiliate Resource – BizBuySell

We are excited to announce that GT Securities affiliates now have access to BizBuySell – with an inventory of over 65,000 businesses for sale and more than 3 million monthly visits.

While most of these are smaller businesses, many of our affiliates have had success utilizing the platform to source buyside opportunities for clients along with selectively marketing their sell side engagements to prospective strategic buyers.

Please email me at [email protected] to learn more!

New Pitchbook Functionality – Leveraged Commentary & Data (LCD)

We are also excited to announce that via our PitchBook partnership we are able to offer, via a standard PitchBook license, access to their Leveraged Commentary & Data (LCD), which offers real-time news coverage on leveraged loan and high-yield bond originations, launches, pricing and trading. 

Learn more here: https://pitchbook.com/leveraged-commentary-data.


Do you know an investment banker looking for the benefits of independence and professionalism provided on the GT Securities platform? We are always interested in speaking to highly ethical and credentialed banking professionals to join our platform, and we are offering credits and bonus for referred bankers. Please reach out to me to learn more.

Zaya Bold, Director of Banking Partnerships

Happy February to All!

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